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Make sure you know which calculator to bring to your test. You know what they say: don't bring a buffalo chip to an Ultimate Frisbee tournament. I lost a lot of friends that day...

Unsuitable Recommendations

Unsuitable Recommendations

Fraud is the big gasp of securities violations, but there are plenty of lesser violations that have nothing to do with fraud, but that can still torch an investment rep's career. 

One big one? Giving investment recommendations to a client that make no freakin' sense. It could get a license suspended, denied, or even revoked.

Case in Point

Think about Myron's portfolio for Bubbie. 

Is there a logical defense to something comprised almost entirely of high beta, high p/e, volatile stocks? Eh...not...

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